Andrew Mindnich
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Andrew Mindnich, who also goes by Andrew Davis Mindnich, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2009. Andrew had worked at 6 firms and has passed the Series 65, Series 63, Series 57TO, Series 99TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2026 - May 21, 2026
OVERBROOK MANAGEMENT CORPORATION
September 27, 2017 - October 15, 2025
J.P. MORGAN SECURITIES LLC
September 25, 2017 - October 15, 2025
J.P. MORGAN SECURITIES LLC
May 15, 2015 - September 26, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 12, 2015 - September 26, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 15, 2015 - April 8, 2015
MSI FINANCIAL SERVICES, INC.
July 15, 2014 - April 8, 2015
MSI FINANCIAL SERVICES, INC.
January 3, 2012 - July 15, 2014
BGC FINANCIAL, L.P.
December 3, 2009 - December 23, 2011
JEFFERIES LLC
Primary Firm SEC Registration
OVERBROOK MANAGEMENT CORPORATION
CRD#: 117884 / SEC#: 801-60790
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 6/27/2013
Limited Representative-Equity Trader ExamCurrent Firm
OVERBROOK MANAGEMENT CORPORATION
CRD#: 117884 / SEC#: 801-60790
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 315 |
| AUM (Assets Under Management) | $ 1,051,959,375 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/26/2025 | ||
| 10/31/2024 | ||
| 09/18/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
